Defendant Name:
Advanced Emissions Solutions, Inc.
Defendant Type:
Public Company
SIC Code:
2890
CUSIP:
00770C10
Document Reference:
33-10329
Document Details
Legal Case Name
In the Matter of Advanced Emissions Solutions, Inc.
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
29-Mar-2017
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On March 29, 2017, the SEC instituted a settled proceeding against Advanced Emissions Solutions, Inc. According to the SEC, "[t]his proceeding concerns reporting and internal accounting controls failures from at least 2011 through 2014 by Advanced Emissions, an environmental solutions company headquartered in Colorado."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$500,000.00
Shared:
